ApTask
Marketing Compliance Analyst
ApTask, New York, New York, us, 10261
About Client:The client is a prominent global investment bank with a diverse range of financial services and a reputation for delivering independent and conflict-free advice. It is a trusted advisor in the investment banking industry, known for its expertise, independence, and client-centric approach. Its comprehensive service offerings, deep industry knowledge, and global reach make it a preferred partner for companies navigating complex financial transactions and strategic decisions. Whether dealing with mergers and acquisitions, financial restructuring, or specialized financial advisory needs, it stands out as a leader in delivering high-quality, tailored solutions.
Salary: $80K/Annum
Job Description:Primary Responsibilities:Engaging with marketing project managers of the Financial Restructuring (FR), Corporate Finance (CF) and Financial and Valuation Advisory (FVA) business units to review and issue approval for marketing material and communications for complianceAct as Registered Principal for marketing materials, including recommending and drafting updates/revisions as necessaryMaintaining the quality and consistency of Houlihan Lokey marketing materials, advising on applicable compliance guidelinesWorking closely with Marketing, Compliance, and Legal, as well as financial professionals across the firm to establish standard of the firm's marketing efforts (e.g., emails, presentations, white papers, reports, conference/event collateral, bios, webinars, press releases, boilerplates, disclaimers, firm website, article reprints, etc.)Stay current on regulatory developments, act as a subject matter expert regarding firm policies and provide appropriate guidance and training to business partnerServe as a resource to internal partners with inquiries regarding business communicationsManage record keeping of approvals as well as related internal communications with the department's project management software, create summary reports to senior team member that detail compliance findings and corrective actionsBasic Qualifications:
Possess knowledge of financial services industry as well as relevant investment banking marketing compliance or regulatory experienceBachelor's Degree or equivalent requiredMust possess Client Series SIE, 63, 7 and/or 79; and Series 24 preferred, or be able to obtain within 120 days post-hireUnderstanding of applicable laws, regulations and guidance, particularly as it relates to the Client and SEC desirableStrong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity and maturityStrong verbal and written communication skills, with an ability to present ideas and information clearly, logically and succinctlyA proactive, hands-on, and collaborative attitude is essential, with a readiness to take ownership of certain initiativesAttention to detail, with excellent organisational skill, with the ability to project manage multiple priorities simultaneouslyAbility to work to tight deadlines/under pressure with limited supervision, focus for extended periods of time with extreme attention to detailHigh level of initiative, the ability to act independently using sound judgment, adaptability to a dynamic environmentMaintain highly confidential information in an ethical, professional manner and exhibit awareness and understanding of ethical principles
About ApTask:ApTask is a leading global provider of workforce solutions and talent acquisition services, dedicated to shaping the future of work. As an African American-owned and Veteran-certified company, ApTask offers a comprehensive suite of services, including staffing and recruitment solutions, managed services, IT consulting, and project management. With a focus on excellence, collaboration, and innovation, ApTask provides unparalleled opportunities for professional growth and development. As a member of the ApTask team, you will have the chance to connect businesses with top-tier professionals, optimize workforce performance, and drive success across diverse industries. Join us at ApTask and be part of our mission to empower organizations to thrive while fostering a diverse and inclusive work environment.
Applicants may be required to attend interviews in person or by video conference. In addition, candidates may be required to present their current state or government issued ID during each interview.
Candidate Data Collection Disclaimer:At ApTask, we prioritize safeguarding your privacy. As part of our recruitment process, certain Personally Identifiable Information (PII) may be requested by our clients for verification and application purposes. Rest assured, we strictly adhere to confidentiality standards and comply with all relevant data protection laws. Please note that we only collect the necessary information as specified by each client and do not request sensitive details during the initial stages of recruitment.
If you have any concerns or queries about your personal information, please feel free to contact our compliance team at businessexcellence@aptask.com.
Salary: $80K/Annum
Job Description:Primary Responsibilities:Engaging with marketing project managers of the Financial Restructuring (FR), Corporate Finance (CF) and Financial and Valuation Advisory (FVA) business units to review and issue approval for marketing material and communications for complianceAct as Registered Principal for marketing materials, including recommending and drafting updates/revisions as necessaryMaintaining the quality and consistency of Houlihan Lokey marketing materials, advising on applicable compliance guidelinesWorking closely with Marketing, Compliance, and Legal, as well as financial professionals across the firm to establish standard of the firm's marketing efforts (e.g., emails, presentations, white papers, reports, conference/event collateral, bios, webinars, press releases, boilerplates, disclaimers, firm website, article reprints, etc.)Stay current on regulatory developments, act as a subject matter expert regarding firm policies and provide appropriate guidance and training to business partnerServe as a resource to internal partners with inquiries regarding business communicationsManage record keeping of approvals as well as related internal communications with the department's project management software, create summary reports to senior team member that detail compliance findings and corrective actionsBasic Qualifications:
Possess knowledge of financial services industry as well as relevant investment banking marketing compliance or regulatory experienceBachelor's Degree or equivalent requiredMust possess Client Series SIE, 63, 7 and/or 79; and Series 24 preferred, or be able to obtain within 120 days post-hireUnderstanding of applicable laws, regulations and guidance, particularly as it relates to the Client and SEC desirableStrong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity and maturityStrong verbal and written communication skills, with an ability to present ideas and information clearly, logically and succinctlyA proactive, hands-on, and collaborative attitude is essential, with a readiness to take ownership of certain initiativesAttention to detail, with excellent organisational skill, with the ability to project manage multiple priorities simultaneouslyAbility to work to tight deadlines/under pressure with limited supervision, focus for extended periods of time with extreme attention to detailHigh level of initiative, the ability to act independently using sound judgment, adaptability to a dynamic environmentMaintain highly confidential information in an ethical, professional manner and exhibit awareness and understanding of ethical principles
About ApTask:ApTask is a leading global provider of workforce solutions and talent acquisition services, dedicated to shaping the future of work. As an African American-owned and Veteran-certified company, ApTask offers a comprehensive suite of services, including staffing and recruitment solutions, managed services, IT consulting, and project management. With a focus on excellence, collaboration, and innovation, ApTask provides unparalleled opportunities for professional growth and development. As a member of the ApTask team, you will have the chance to connect businesses with top-tier professionals, optimize workforce performance, and drive success across diverse industries. Join us at ApTask and be part of our mission to empower organizations to thrive while fostering a diverse and inclusive work environment.
Applicants may be required to attend interviews in person or by video conference. In addition, candidates may be required to present their current state or government issued ID during each interview.
Candidate Data Collection Disclaimer:At ApTask, we prioritize safeguarding your privacy. As part of our recruitment process, certain Personally Identifiable Information (PII) may be requested by our clients for verification and application purposes. Rest assured, we strictly adhere to confidentiality standards and comply with all relevant data protection laws. Please note that we only collect the necessary information as specified by each client and do not request sensitive details during the initial stages of recruitment.
If you have any concerns or queries about your personal information, please feel free to contact our compliance team at businessexcellence@aptask.com.